Form 8.3 - SHIRE PLC

LONDON--()--

FORM 8.3

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a)   Full name of discloser:   Barclays PLC.
     
(b) Owner or controller of interest and short
  positions disclosed, if different from 1(a):  
(c) Name of offeror/offeree in relation to whose SHIRE PLC
  relevant securities this form relates:  
(d) If an exempt fund manager connected with an
offeror/offeree, state this and specify identity of
  offeror/offeree:  
(e) Date position held/dealing undertaken: 19 July 2018
(f) In addition to the company in 1(c) above, is the discloser making YES:
  disclosures in respect of any other party to the offer? TAKEDA PHARMACEUTICAL CO LTD

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)

Class of relevant security:       5p ordinary            
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 5,445,983 0.60% 2,680,754 0.29%
           
(2) Cash-settled derivatives:
1,678,429 0.18% 4,140,230 0.45%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 249,300 0.03% 277,500 0.03%
           
 
TOTAL: 7,373,712 0.81% 7,098,484 0.78%

All interests and all short positions should be disclosed.

Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

(b) Rights to subscribe for new securities (including directors’ and other employee options)

Class of relevant security in relation to which subscription right exists:  
Details, including nature of the rights concerned and relevant percentages:  

3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

The currency of all prices and other monetary amounts should be stated.

(a) Purchases and sales

Class of relevant   Purchase/sale   Number of   Price per unit
security   securities  
5p ordinary Purchase 1 44.2750 GBP
ADR Purchase 2 173.2900 USD
ADR Purchase 13 173.1500 USD
ADR Purchase 57 172.4200 USD
5p ordinary Purchase 73 44.2525 GBP
5p ordinary Purchase 73 44.4425 GBP
5p ordinary Purchase 73 44.1000 GBP
ADR Purchase 100 172.4600 USD
5p ordinary Purchase 148 44.2475 GBP
ADR Purchase 200 172.8900 USD
ADR Purchase 300 172.9272 USD
5p ordinary Purchase 300 44.3073 GBP
ADR Purchase 332 172.8947 USD
5p ordinary Purchase 460 44.3561 GBP
5p ordinary Purchase 720 44.4380 GBP
ADR Purchase 1,000 173.0455 USD
ADR Purchase 1,100 173.0568 USD
5p ordinary Purchase 1,199 44.2879 GBP
5p ordinary Purchase 1,354 44.2491 GBP
5p ordinary Purchase 1,854 44.2599 GBP
5p ordinary Purchase 2,500 44.2961 GBP
ADR Purchase 2,843 172.9800 USD
5p ordinary Purchase 3,074 44.2175 GBP
5p ordinary Purchase 3,714 44.2089 GBP
ADR Purchase 3,757 172.8205 USD
5p ordinary Purchase 4,189 44.4430 GBP
ADR Purchase 4,805 172.9185 USD
5p ordinary Purchase 6,234 44.1372 GBP
5p ordinary Purchase 15,358 44.4450 GBP
5p ordinary Purchase 19,051 44.3730 GBP
5p ordinary Purchase 20,646 44.2082 GBP
5p ordinary Purchase 34,705 44.1500 GBP
5p ordinary Purchase 46,665 44.2494 GBP
5p ordinary Purchase 122,225 44.3302 GBP
ADR Sale 15 173.1687 USD
ADR Sale 21 172.6300 USD
5p ordinary Sale 73 44.4425 GBP
5p ordinary Sale 73 44.1000 GBP
5p ordinary Sale 74 44.2475 GBP
ADR Sale 91 173.0214 USD
ADR Sale 100 172.7800 USD
ADR Sale 100 173.0000 USD
ADR Sale 100 173.1100 USD
ADR Sale 100 173.1300 USD
ADR Sale 100 173.1700 USD
5p ordinary Sale 104 44.4447 GBP
ADR Sale 141 172.8943 USD
ADR Sale 157 172.4454 USD
5p ordinary Sale 177 44.0613 GBP
ADR Sale 195 172.5582 USD
ADR Sale 200 173.0947 USD
ADR Sale 200 172.5650 USD
ADR Sale 200 172.5800 USD
ADR Sale 300 173.0216 USD
ADR Sale 405 172.9151 USD
ADR Sale 500 172.9990 USD
ADR Sale 500 172.8140 USD
5p ordinary Sale 500 44.0030 GBP
ADR Sale 500 173.0920 USD
5p ordinary Sale 610 44.1462 GBP
5p ordinary Sale 755 44.2606 GBP
ADR Sale 800 173.0700 USD
ADR Sale 805 172.8233 USD
5p ordinary Sale 868 44.2188 GBP
ADR Sale 887 172.5954 USD
5p ordinary Sale 1,209 44.2467 GBP
ADR Sale 1,354 173.0048 USD
5p ordinary Sale 1,843 44.2911 GBP
5p ordinary Sale 2,025 44.0666 GBP
ADR Sale 2,238 172.9800 USD
5p ordinary Sale 2,478 44.2047 GBP
5p ordinary Sale 2,550 44.4450 GBP
5p ordinary Sale 2,906 44.0478 GBP
5p ordinary Sale 2,970 44.0792 GBP
ADR Sale 4,200 172.9354 USD
5p ordinary Sale 4,341 44.3134 GBP
5p ordinary Sale 5,182 44.1011 GBP
5p ordinary Sale 5,983 44.1308 GBP
5p ordinary Sale 8,743 44.2712 GBP
5p ordinary Sale 9,066 44.1175 GBP
5p ordinary Sale 9,386 44.4445 GBP
5p ordinary Sale 10,503 44.3187 GBP
5p ordinary Sale 10,793 44.2525 GBP
5p ordinary Sale 12,610 44.2513 GBP
5p ordinary Sale 14,140 44.0858 GBP
5p ordinary Sale 16,007 44.2008 GBP
5p ordinary Sale 17,306 44.0720 GBP
5p ordinary Sale 34,611 44.0790 GBP
5p ordinary Sale 44,290 44.3383 GBP

(b) Cash-settled derivative transactions

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
5p ordinary SWAP Long 346 43.8050 GBP
5p ordinary SWAP Long 932 44.2459 GBP
5p ordinary SWAP Long 1,539 44.1824 GBP
5p ordinary CFD Long 2,025 44.0666 GBP
5p ordinary SWAP Long 2,550 44.4450 GBP
5p ordinary CFD Long 2,906 44.0478 GBP
5p ordinary CFD Long 2,970 44.0792 GBP
5p ordinary CFD Long 3,720 44.2042 GBP
5p ordinary CFD Long 4,341 44.3134 GBP
5p ordinary SWAP Long 4,393 44.2432 GBP
5p ordinary CFD Long 5,758 44.0690 GBP
5p ordinary CFD Long 7,000 44.2781 GBP
5p ordinary CFD Long 9,066 44.1175 GBP
5p ordinary SWAP Long 17,306 44.0720 GBP
5p ordinary SWAP Long 17,994 44.2829 GBP
5p ordinary SWAP Long 34,611 44.0790 GBP
5p ordinary SWAP Short 212 44.2569 GBP
5p ordinary CFD Short 300 44.3073 GBP
5p ordinary SWAP Short 309 44.1952 GBP
5p ordinary SWAP Short 496 44.3760 GBP
5p ordinary SWAP Short 692 44.2510 GBP
5p ordinary SWAP Short 704 44.2786 GBP
5p ordinary SWAP Short 1,538 44.1690 GBP
5p ordinary SWAP Short 2,992 44.2421 GBP
5p ordinary CFD Short 3,422 44.2906 GBP
5p ordinary SWAP Short 7,875 44.3411 GBP
5p ordinary SWAP Short 20,767 44.4450 GBP
5p ordinary SWAP Short 29,168 44.2993 GBP
5p ordinary SWAP Short 32,254 44.2350 GBP
5p ordinary CFD Short 46,665 44.2494 GBP

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

Class   Product   Writing,   Number   Exercise   Type   Expiry   Option
of description purchasing, of price date money
relevant selling, securities per unit paid/
security varying etc to which received
option per unit
      relates        
ADR Call Options Purchasing 100 105 USD American 18 Jan 2019 69.1500 USD
ADR Call Options Selling 100 125 USD American 18 Jan 2019 50.0600 USD
ADR Call Options Selling 100 173 USD American 20 Jul 2018 1.1100 USD

(ii) Exercise

Class of relevant security   Product description

e.g. call option

  Exercising/ exercised against   Number of securities   Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security   Nature of dealing

e.g. subscription, conversion

  Details   Price per unit (if applicable)

4. OTHER INFORMATION

(a) Indemnity and other dealing arrangements

Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the person making the disclosure and any party to the offer or any person acting in concert with a party to the offer:

Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state “none”

None

(b) Agreements, arrangements or understandings relating to options or derivatives

Details of any agreement, arrangement or understanding, formal or informal, between the person making the disclosure and any other person relating to:

(i) the voting rights of any relevant securities under any option; or

(ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced:

If there are no such agreements, arrangements or understandings, state “none”

None

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?   YES
Date of disclosure: 20 Jul 2018
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the “Code”)

1. KEY INFORMATION

Identity of the person whose positions/dealings   Barclays PLC.
are being disclosed:  
Name of offeror/offeree in relation to whose SHIRE PLC
relevant securities this from relates:  

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class   Product   Writing,   Number   Exercise   Type   Expiry
of description purchasing, of price date
relevant selling, securities per unit
security varying etc to which
option
      relates      
5p ordinary Call Options Written -125,000 3600.0000 American 21 Dec 2018
ADR Call Options Purchased 20,700 175.0000 American 20 Jul 2018
ADR Call Options Purchased 8,100 173.0000 American 20 Jul 2018
ADR Put Options Written 2,100 140.0000 American 20 Jul 2018
ADR Call Options Purchased 1,700 195.0000 American 17 Jan 2020
ADR Call Options Purchased 1,000 180.0000 American 17 Jan 2020
ADR Call Options Purchased 1,000 170.0000 American 17 Jan 2020
ADR Call Options Purchased 200 135.0000 American 17 Jan 2020
ADR Call Options Purchased 100 175.0000 American 18 Jan 2019
ADR Put Options Written 100 110.0000 American 17 Jan 2020
ADR Put Options Purchased -400 165.0000 American 17 Jan 2020
ADR Put Options Purchased -700 160.0000 American 17 Jan 2020
ADR Put Options Purchased -1,000 150.0000 American 18 Jan 2019
ADR Put Options Purchased -1,500 165.0000 American 18 Jan 2019
ADR Put Options Purchased -2,600 160.0000 American 20 Jul 2018
ADR Put Options Purchased -2,700 80.0000 American 18 Jan 2019
ADR Put Options Purchased -2,800 135.0000 American 17 Aug 2018
ADR Put Options Purchased -4,600 165.0000 American 19 Oct 2018
ADR Put Options Purchased -5,800 180.0000 American 18 Jan 2019
ADR Put Options Purchased -7,700 130.0000 American 18 Jan 2019
ADR Put Options Purchased -44,000 145.0000 American 19 Oct 2018
ADR Call Options Purchased 1,600 170.0000 American 19 Oct 2018
ADR Call Options Written -100 125.0000 American 20 Jul 2018
ADR Put Options Written 21,700 155.0000 American 20 Jul 2018
ADR Call Options Purchased 3,600 185.0000 American 19 Oct 2018
ADR Call Options Purchased 3,100 155.0000 American 18 Jan 2019
ADR Put Options Written 2,900 95.0000 American 20 Jul 2018
ADR Call Options Purchased 1,300 165.0000 American 19 Oct 2018
ADR Put Options Written 1,000 90.0000 American 18 Jan 2019
ADR Call Options Purchased 700 150.0000 American 20 Jul 2018
ADR Call Options Purchased 500 125.0000 American 18 Jan 2019
ADR Call Options Purchased 400 230.0000 American 18 Jan 2019
ADR Put Options Written 400 120.0000 American 20 Jul 2018
ADR Call Options Purchased 300 115.0000 American 18 Jan 2019
ADR Put Options Written 200 200.0000 American 17 Jan 2020
ADR Put Options Written 200 125.0000 American 18 Jan 2019
ADR Put Options Written 200 125.0000 American 19 Oct 2018
ADR Put Options Written 200 135.0000 American 20 Jul 2018
ADR Call Options Purchased 100 220.0000 American 18 Jan 2019
ADR Call Options Purchased 100 155.0000 American 20 Jul 2018
ADR Put Options Written 100 95.0000 American 18 Jan 2019
ADR Call Options Written -100 140.0000 American 17 Jan 2020
ADR Call Options Written -1,000 85.0000 American 18 Jan 2019
ADR Call Options Written -1,600 145.0000 American 18 Jan 2019
ADR Call Options Written -1,900 145.0000 American 20 Jul 2018
ADR Put Options Purchased -2,200 110.0000 American 20 Jul 2018
ADR Put Options Purchased -2,500 120.0000 American 17 Jan 2020
ADR Call Options Purchased 7,800 165.0000 American 20 Jul 2018
ADR Call Options Purchased 4,500 200.0000 American 18 Jan 2019
ADR Call Options Purchased 200 155.0000 American 17 Jan 2020
ADR Call Options Purchased 200 130.0000 American 17 Jan 2020
ADR Put Options Purchased -200 170.0000 American 18 Jan 2019
ADR Call Options Written -400 115.0000 American 20 Jul 2018
ADR Put Options Purchased -800 150.0000 American 17 Jan 2020
ADR Call Options Written -900 175.0000 American 19 Oct 2018
ADR Put Options Purchased -5,000 170.0000 American 19 Oct 2018
ADR Call Options Purchased 2,300 185.0000 American 18 Jan 2019
ADR Call Options Purchased 700 195.0000 American 18 Jan 2019
ADR Put Options Written 500 125.0000 American 20 Jul 2018
ADR Call Options Purchased 400 165.0000 American 18 Jan 2019
ADR Call Options Purchased 200 120.0000 American 17 Jan 2020
ADR Call Options Purchased 200 210.0000 American 18 Jan 2019
ADR Put Options Purchased -200 115.0000 American 19 Oct 2018
ADR Put Options Purchased -700 115.0000 American 20 Jul 2018
ADR Put Options Purchased -1,000 105.0000 American 18 Jan 2019
ADR Call Options Written -10,200 180.0000 American 18 Jan 2019
ADR Put Options Written 3,800 150.0000 American 20 Jul 2018
ADR Call Options Purchased 2,000 170.0000 American 17 Aug 2018
ADR Call Options Purchased 1,500 140.0000 American 20 Jul 2018
ADR Call Options Purchased 1,000 170.0000 American 18 Jan 2019
ADR Call Options Purchased 500 130.0000 American 19 Oct 2018
ADR Put Options Written 300 130.0000 American 20 Jul 2018
ADR Call Options Purchased 200 160.0000 American 17 Jan 2020
ADR Call Options Written -100 130.0000 American 18 Jan 2019
ADR Put Options Purchased -500 140.0000 American 17 Jan 2020
ADR Put Options Purchased -1,000 80.0000 American 17 Jan 2020
ADR Put Options Purchased -1,100 150.0000 American 19 Oct 2018
ADR Put Options Purchased -2,300 85.0000 American 18 Jan 2019
ADR Put Options Purchased -6,000 135.0000 American 18 Jan 2019
ADR Put Options Purchased -7,500 155.0000 American 18 Jan 2019
ADR Call Options Written -9,500 170.0000 American 20 Jul 2018
ADR Call Options Purchased 7,300 160.0000 American 20 Jul 2018
ADR Call Options Purchased 4,400 180.0000 American 20 Jul 2018
ADR Put Options Written 2,800 120.0000 American 18 Jan 2019
ADR Call Options Purchased 100 110.0000 American 17 Jan 2020
ADR Call Options Purchased 100 140.0000 American 18 Jan 2019
ADR Put Options Written 100 140.0000 American 19 Oct 2018
ADR Put Options Purchased -1,100 140.0000 American 18 Jan 2019
ADR Put Options Purchased -2,000 175.0000 American 19 Oct 2018
ADR Put Options Purchased -2,100 160.0000 American 18 Jan 2019
ADR Put Options Purchased -3,700 145.0000 American 17 Jan 2020
ADR Put Options Purchased -4,800 165.0000 American 20 Jul 2018
ADR Call Options Purchased 4,100 135.0000 American 20 Jul 2018
ADR Call Options Purchased 2,000 150.0000 American 17 Jan 2020
ADR Call Options Purchased 1,000 135.0000 American 18 Jan 2019
ADR Put Options Written 700 85.0000 American 20 Jul 2018
ADR Call Options Purchased 500 150.0000 American 18 Jan 2019
ADR Call Options Purchased 400 185.0000 American 20 Jul 2018
ADR Put Options Written 400 145.0000 American 20 Jul 2018
ADR Put Options Written 200 70.0000 American 19 Oct 2018
ADR Call Options Purchased 100 105.0000 American 18 Jan 2019
ADR Put Options Written 100 110.0000 American 18 Jan 2019
ADR Put Options Written 100 75.0000 American 19 Oct 2018
ADR Put Options Purchased -200 175.0000 American 17 Aug 2018
ADR Put Options Purchased -500 145.0000 American 18 Jan 2019
ADR Put Options Purchased -1,000 170.0000 American 17 Jan 2020
ADR Call Options Written -1,100 210.0000 American 19 Oct 2018
ADR Put Options Purchased -1,200 135.0000 American 17 Jan 2020
ADR Put Options Purchased -1,800 115.0000 American 18 Jan 2019
ADR Put Options Purchased -2,400 75.0000 American 20 Jul 2018
5p ordinary Put Options Written 125,000 3600.0000 American 21 Dec 2018

3. AGREEMENTS TO PURCHASE OR SELL ETC.

Full details should be given so that the nature of the interest or position can be fully understood:

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives.

The currency of all prices and other monetary amounts should be stated.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

Short Name: BARCLAYS PLC
Category Code: RET
Sequence Number: 651971
Time of Receipt (offset from UTC): 20180720T150449+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC